Compliance Consultant

James Phillip Financial Recruitment
London (Central)
14 Apr 2018
21 May 2018
Contract Type
Full Time

James Phillip Financial Recruitment are working with an expanding Compliance provider, one of Londons leading providers of bespoke corporate compliance.

They are looking for a consultant to join the team to ensure delivery of compliance and technical services to their coporate clients ensuring timescales are met and service quality delivered.


  • Dealing with clients’ telephone and e-mail queries within 48 hour turnaround time
  • Assisting firms complete Gabriel and ONA returns
  • Preparing newsletters for 1st
  • Providing assistance to Business Development and Compliance Field Consultants
  • Provide support to Client Firms with complaint investigation and response
  • Provide consultative support to Client Firms
  • Verify content of marketing communications and make any amends as appropriate prior to delivery to prospects
  • Keep up to date with all regulatory and industry changes and assist in the dissemination of the information to team
  • Be able to work with staff at all levels, including internal and external Directors and Senior Management
  • Play an active part in own team, carrying out work to enhance the Unit and ensuring information, knowledge, experience and innovation is shared across the business
  • Preparation of reports to management as required
  • Ensure own knowledge is enhanced and maintained through relevant continued professional development

Person Specification:

  • Self motivated and positive
  • Ability to work under pressure
  • Financial services experience is essential
  • Broad technical knowledge across all product areas
  • Wide industry knowledge and experience in a senior compliance role

Experience and Qualifications:

Minimum Level 4 qualification essential

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